Last 12 months
Inside the activity.
2 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 2 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 23, 2019 Filed Aug 26, 2019 19:58 UTC |
GABRIEL RICHARD LDirector
|
PurchaseCommon Stock | 2,200 | $0.59 | $1,298.00 |
DisclosureSEC source: 0001179110-19-009834 · edgar.xml · nonDerivative · entry 1 GABRIEL RICHARD L · CIK 0001285097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,200 Read SEC document |
| August 01, 2019 Filed Aug 15, 2019 21:31 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 11,506 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-009547 · edgar.xml · derivative · entry 4 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,276,387 Underlying: Common Stock · 11,506 shares Expires 2024-02-06 F1 · security: On May 21, 2019 the Issuer and the Reporting Person executed the Third Amended and Restated Common Stock Purchase Warrant (the "Warrant") which amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"). It included a second investment of an additional $950,000, and a third investment of an additional $300,000 resulting in a total investment of $1,620,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by $0.704. F2 · kind: Represents additional shares added to the Warrant as of 8/1/2019 as a result of the formula in the Warrant. F2 · price: Represents additional shares added to the Warrant as of 8/1/2019 as a result of the formula in the Warrant. Read SEC document |
| August 01, 2019 Filed Aug 15, 2019 21:31 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
GrantStock Option · Derivative | 51,282 | $0.00 Strike: $0.65 | $0.00 |
DisclosureSEC source: 0001179110-19-009547 · edgar.xml · derivative · entry 3 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,264,481 Underlying: Common Stock · 51,282 shares Expires 2029-07-31 F4 · security: Pursuant to the Stock Option Agreement dated August 1, 2019, between the Issuer and the Reporting Person. Read SEC document |
| August 01, 2019 Filed Sep 18, 2019 19:46 UTC Amendment |
Schwartz Carl I.Director · Chief Executive Officer
|
GrantStock Option · Derivative | 51,282 | $0.00 Strike: $0.65 | $0.00 |
DisclosureSEC source: 0001179110-19-010446 · edgar.xml · derivative · entry 5 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,282 Underlying: Common Stock · 51,282 shares Expires 2029-07-31 F4 · security: Pursuant to the Stock Option Agreement dated August 1, 2019, between the Issuer and the Reporting Person. F5 · balance_after: This Form 4 is being amended to include a missed transaction and to correct certain totals. Read SEC document |
| August 01, 2019 Filed Sep 18, 2019 19:46 UTC Amendment |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 11,506 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-010446 · edgar.xml · derivative · entry 3 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,182,911 Underlying: Common Stock · 11,506 shares Expires 2024-02-06 F1 · security: On May 21, 2019 the Issuer and the Reporting Person executed the Third Amended and Restated Common Stock Purchase Warrant (the "Warrant") which amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"). It included a second investment of an additional $950,000, and a third investment of an additional $300,000 resulting in a total investment of $1,620,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by $0.704. F2 · kind: Represents additional shares added to the Warrant as of 8/1/2019 as a result of the formula in the Warrant. F2 · price: Represents additional shares added to the Warrant as of 8/1/2019 as a result of the formula in the Warrant. F5 · balance_after: This Form 4 is being amended to include a missed transaction and to correct certain totals. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 20:10 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 11,506 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-008357 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,171,405 Underlying: Common Stock · 11,506 shares Expires 2024-02-06 F1 · security: On May 21, 2019 the Issuer and the Reporting Person executed the Third Amended and Restated Common Stock Purchase Warrant (the "Warrant") which amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"). It included a second investment of an additional $950,000, and a third investment of an additional $300,000 resulting in a total investment of $1,620,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by $0.704. F2 · kind: Represents additional shares added to the Warrant as of 7/1/2019 as a result of the formula in the Third Amended and Restated Warrant. F2 · price: Represents additional shares added to the Warrant as of 7/1/2019 as a result of the formula in the Third Amended and Restated Warrant. Read SEC document |
| July 01, 2019 Filed Aug 15, 2019 21:31 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
GrantStock Option · Derivative | 42,194 | $0.00 Strike: $0.79 | $0.00 |
DisclosureSEC source: 0001179110-19-009547 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,213,599 Underlying: Common Stock · 42,194 shares Expires 2029-06-30 F3 · security: Pursuant to the Stock Option Agreement dated July 1, 2019, between the Issuer and the Reporting Person. Read SEC document |
| July 01, 2019 Filed Sep 18, 2019 19:46 UTC Amendment |
Schwartz Carl I.Director · Chief Executive Officer
|
GrantStock Option · Derivative | 42,194 | $0.00 Strike: $0.79 | $0.00 |
DisclosureSEC source: 0001179110-19-010446 · edgar.xml · derivative · entry 4 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,194 Underlying: Common Stock · 42,194 shares Expires 2029-06-30 F3 · security: Pursuant to the Stock Option Agreement dated July 1, 2019, between the Issuer and the Reporting Person. F5 · balance_after: This Form 4 is being amended to include a missed transaction and to correct certain totals. Read SEC document |
| July 01, 2019 Filed Sep 18, 2019 19:46 UTC Amendment |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 11,506 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-010446 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,171,405 Underlying: Common Stock · 11,506 shares Expires 2024-02-06 F1 · security: On May 21, 2019 the Issuer and the Reporting Person executed the Third Amended and Restated Common Stock Purchase Warrant (the "Warrant") which amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"). It included a second investment of an additional $950,000, and a third investment of an additional $300,000 resulting in a total investment of $1,620,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by $0.704. F5 · security: This Form 4 is being amended to include a missed transaction and to correct certain totals. F6 · kind: Represents additional shares added to the Warrant as of 7/1/2019 as a result of the formula in the Warrant. F6 · price: Represents additional shares added to the Warrant as of 7/1/2019 as a result of the formula in the Warrant. Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 16:48 UTC |
ENGLE J MELVILLEDirector
|
GrantStock Options (right to buy) · Derivative | 6,689 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-008395 · edgar.xml · derivative · entry 2 ENGLE J MELVILLE · CIK 0001461906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,689 Underlying: Common Stock · 6,689 shares Expires 2029-06-30 Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 21:18 UTC |
GABRIEL RICHARD LDirector
|
GrantStock Options (right to buy) · Derivative | 6,689 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-008422 · edgar.xml · derivative · entry 2 GABRIEL RICHARD L · CIK 0001285097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,689 Underlying: Common Stock · 6,689 shares Expires 2029-06-30 Read SEC document |
| June 30, 2019 Filed Jul 3, 2019 08:00 UTC |
KROCHUK TIMOTHY ADirector
|
GrantStock Options (right to buy) · Derivative | 6,689 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-008441 · edgar.xml · derivative · entry 2 KROCHUK TIMOTHY A · CIK 0001689217 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,689 Underlying: Common Stock · 6,689 shares Expires 2029-06-30 Read SEC document |
| June 30, 2019 Filed Jul 3, 2019 15:00 UTC |
Reding Andrew P.Director
|
GrantStock Option (right to buy) · Derivative | 6,689 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-008454 · edgar.xml · derivative · entry 2 Reding Andrew P. · CIK 0001478471 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,689 Underlying: Common Stock · 6,689 shares Expires 2029-06-30 Read SEC document |
| June 30, 2019 Filed Jul 3, 2019 08:01 UTC |
McGoldrick Thomas J.Director
|
GrantStock Option (right to buy) · Derivative | 6,689 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-008442 · edgar.xml · derivative · entry 2 McGoldrick Thomas J. · CIK 0001478406 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,689 Underlying: Common Stock · 6,689 shares Expires 2029-06-30 Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:11 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 11,506 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-007104 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,159,899 Underlying: Common Stock · 11,506 shares Expires 2024-02-06 F1 · security: On May 21, 2019 the Issuer and the Reporting Person executed the Third Amended and Restated Common Stock Purchase Warrant (the "Warrant") which amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"). It included a second investment of an additional $950,000, and a third investment of an additional $300,000 resulting in a total investment of $1,620,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by $0.704. F2 · kind: Represents additional shares added to the Warrant as of 6/1/2019 as a result of the formula in the Third Amended and Restated Warrant. F2 · price: Represents additional shares added to the Warrant as of 6/1/2019 as a result of the formula in the Third Amended and Restated Warrant. Read SEC document |
| May 24, 2019 Filed May 28, 2019 21:44 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
PurchaseCommon Stock | 48,332 | $0.55 | $26,688.93 |
DisclosureSEC source: 0001179110-19-006743 · edgar.xml · nonDerivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,298 Read SEC document |
| May 23, 2019 Filed May 28, 2019 21:44 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
PurchaseCommon Stock | 51,668 | $0.56 | $29,099.42 |
DisclosureSEC source: 0001179110-19-006743 · edgar.xml · nonDerivative · entry 1 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,966 Read SEC document |
| May 01, 2019 Filed May 24, 2019 19:46 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 11,506 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-006650 · edgar.xml · derivative · entry 6 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,148,393 Underlying: Common Stock · 11,506 shares Expires 2024-02-06 F1 · security: On May 21, 2019 the Issuer and the Reporting Person executed the Third Amended and Restated Common Stock Purchase Warrant (the "Warrant") which amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"). It included a second investment of an additional $950,000, and a third investment of an additional $300,000 resulting in a total investment of $1,620,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by $0.704. F2 · kind: Represents additional shares added to the Warrant as of 5/1/2019 as a result of the formula in the Third Amended and Restated Warrant. F2 · price: Represents additional shares added to the Warrant as of 5/1/2019 as a result of the formula in the Third Amended and Restated Warrant. Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 19:36 UTC |
GABRIEL RICHARD LDirector
|
GrantStock Options (right to buy) · Derivative | 125,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004818 · edgar.xml · derivative · entry 2 GABRIEL RICHARD L · CIK 0001285097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2029-04-04 Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 21:27 UTC |
KROCHUK TIMOTHY ADirector
|
GrantStock Options (right to buy) · Derivative | 125,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004838 · edgar.xml · derivative · entry 2 KROCHUK TIMOTHY A · CIK 0001689217 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2029-04-04 Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 23:22 UTC |
Reding Andrew P.Director
|
GrantStock Option (right to buy) · Derivative | 125,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004836 · edgar.xml · derivative · entry 2 Reding Andrew P. · CIK 0001478471 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2029-04-04 Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 17:13 UTC |
McGoldrick Thomas J.Director
|
GrantStock Option (right to buy) · Derivative | 125,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004830 · edgar.xml · derivative · entry 2 McGoldrick Thomas J. · CIK 0001478406 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2029-04-04 Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 15:36 UTC |
ENGLE J MELVILLEDirector
|
GrantStock Options (right to buy) · Derivative | 125,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004817 · edgar.xml · derivative · entry 2 ENGLE J MELVILLE · CIK 0001461906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2029-04-04 Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 20:38 UTC |
Vardzel Gerald J JrDirector
|
GrantStock Options (right to buy) · Derivative | 151,260 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004822 · edgar.xml · derivative · entry 3 Vardzel Gerald J Jr · CIK 0001751315 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,260 Underlying: Common Stock · 151,260 shares Expires 2029-04-04 F3 · derivative.exercise_date: 37,815 shares vest immediately and 37,815 vest on 10/4/2019; the remainder vests quarterly for 18 months. Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 20:38 UTC |
Vardzel Gerald J JrDirector
|
OtherCommon Stock, $.01 par value | 197,506 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-004822 · edgar.xml · nonDerivative · entry 2 Vardzel Gerald J Jr · CIK 0001751315 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,506 F2 · kind: Shares released from escrow. F2 · price: Shares released from escrow. Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 20:38 UTC |
Vardzel Gerald J JrDirector
|
GrantCommon Stock, $.01 par value | 718,205 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-004822 · edgar.xml · nonDerivative · entry 1 Vardzel Gerald J Jr · CIK 0001751315 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 718,205 F1 · price: The reporting person acquired 718,205 shares of issuer common stock in exchange for an 18% interest in Helomics Holding Corporation ("Helomics") pursuant to Helomics merger into the issuer. The shares are valued at $0.7480 per share, the closing price on the date of the closing, 4/4/2019. Of the 718,205 shares issued to the reporting person in the merger, 175,411 are currently being held in escrow and are subject to forfeiture during the escrow period (until 9/30/2020), to satisfy any claims arising as a result of any breach by Helomics of any of its representations and warranties or covenants in the merger agreement. Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 19:35 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
GrantStock Options (right to buy) · Derivative | 200,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004816 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2029-04-04 F1 · derivative.exercise_date: 25,000 shares vest immediately. The remainder, 175,000 shares, vests quarterly beginning on 7/3/2019 through 4/4/2021. Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 19:21 UTC |
MYERS ROBERT LChief Financial Officer
|
GrantStock Options (right to buy) · Derivative | 166,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004812 · edgar.xml · derivative · entry 2 MYERS ROBERT L · CIK 0001553600 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,000 Underlying: Common Stock · 166,000 shares Expires 2029-04-04 F1 · derivative.exercise_date: 20,750 shares vest immediately. The remainder, 145,250 shares, vests quarterly beginning on 7/3/2019 through 4/4/2021. Read SEC document |
| April 04, 2019 Filed Apr 6, 2020 20:36 UTC |
Vardzel Gerald J JrDirector
|
ConversionCommon Stock, $.01 par value | 62,843 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-20-004703 · edgar.xml · nonDerivative · entry 1 Vardzel Gerald J Jr · CIK 0001751315 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,415 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: Series D Convertible Preferred Stock converted automatically to Common Stock on April 4, 2020 for no additional consideration. F2 · shares: Share ownership numbers have been adjusted to take into account the 1-for-10 reverse stock split which occurred on October 25, 2019. F3 · price: Series D Convertible Preferred Stock converted automatically to Common Stock on April 4, 2020 for no additional consideration. F2 · balance_after: Share ownership numbers have been adjusted to take into account the 1-for-10 reverse stock split which occurred on October 25, 2019. F1 · balance_after: The reporting person acquired 71,821 shares (on a post split basis) of issuer common stock in exchange for an 18% interest in Helomics Holding Corporation ("Helomics") pursuant to Helomics merger into the issuer. Of the 71,821 shares issued to the reporting person in the merger, 17,542 are currently being held in escrow and are subject to forfeiture during the escrow period (until 9/30/2020), to satisfy any claims arising as a result of any breach by Helomics of any of its representations and warranties or covenants in the merger agreement. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 20:02 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherAmended and Restated Warrant to purchase common stock · Derivative | 6,227 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-004487 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 982,161 Underlying: Common Stock · 6,227 shares Expires 2024-01-08 F1 · security: This Amended and Restated Warrant (the "Warrant") amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"), due to a second investment of an additional $950,000, resulting in a total investment of $1,320,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to (1) one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by (2) the closing price of Common Stock on that date. The number of warrant shares is subject to a share limit such that the total of number of warrant shares issued under the Warrant, together with the 78,125 shares purchased directly, may not exceed 2,818,350 shares. F2 · kind: Additional shares added to the Warrant as of 4/1/2019. F2 · price: Additional shares added to the Warrant as of 4/1/2019. Read SEC document |
| April 01, 2019 Filed May 24, 2019 19:46 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 5,279 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-006650 · edgar.xml · derivative · entry 5 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,136,887 Underlying: Common Stock · 5,279 shares Expires 2024-02-06 F3 · kind: As a result of the formula in the Third Amended and Restated Warrant, additional shares were added to installments as of 2/1/2019, 3/1/2019 and 4/1/2019. The amounts reported represent these additional amounts, in excess of the amounts that were reported in previous Form 4 filings by the Reporting Person. F3 · price: As a result of the formula in the Third Amended and Restated Warrant, additional shares were added to installments as of 2/1/2019, 3/1/2019 and 4/1/2019. The amounts reported represent these additional amounts, in excess of the amounts that were reported in previous Form 4 filings by the Reporting Person. Read SEC document |
| March 31, 2019 Filed Apr 3, 2019 16:20 UTC |
KROCHUK TIMOTHY ADirector
|
GrantStock Options (right to buy) · Derivative | 6,667 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004670 · edgar.xml · derivative · entry 2 KROCHUK TIMOTHY A · CIK 0001689217 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,667 Underlying: Common Stock · 6,667 shares Expires 2029-03-31 Read SEC document |
| March 31, 2019 Filed Apr 3, 2019 20:20 UTC |
Reding Andrew P.Director
|
GrantStock Option (right to buy) · Derivative | 6,667 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004669 · edgar.xml · derivative · entry 2 Reding Andrew P. · CIK 0001478471 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,667 Underlying: Common Stock · 6,667 shares Expires 2029-03-31 Read SEC document |
| March 31, 2019 Filed Apr 3, 2019 16:21 UTC |
McGoldrick Thomas J.Director
|
GrantStock Option (right to buy) · Derivative | 6,667 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004672 · edgar.xml · derivative · entry 2 McGoldrick Thomas J. · CIK 0001478406 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,667 Underlying: Common Stock · 6,667 shares Expires 2029-03-31 Read SEC document |
| March 31, 2019 Filed Apr 3, 2019 16:21 UTC |
ENGLE J MELVILLEDirector
|
GrantStock Options (right to buy) · Derivative | 6,667 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004671 · edgar.xml · derivative · entry 2 ENGLE J MELVILLE · CIK 0001461906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,667 Underlying: Common Stock · 6,667 shares Expires 2029-03-31 Read SEC document |
| March 31, 2019 Filed Apr 3, 2019 20:22 UTC |
GABRIEL RICHARD LDirector
|
GrantStock Options (right to buy) · Derivative | 6,667 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001179110-19-004673 · edgar.xml · derivative · entry 2 GABRIEL RICHARD L · CIK 0001285097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,667 Underlying: Common Stock · 6,667 shares Expires 2029-03-31 Read SEC document |
| March 01, 2019 Filed Mar 4, 2019 14:43 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherAmended and Restated Warrant to purchase common stock · Derivative | 6,227 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-002969 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 975,934 Underlying: Common Stock · 6,227 shares Expires 2024-01-08 F1 · security: This Amended and Restated Warrant (the "Warrant") amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"), due to a second investment of an additional $950,000, resulting in a total investment of $1,320,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to (1) one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by (2) the closing price of Common Stock on that date. The number of warrant shares is subject to a share limit such that the total of number of warrant shares issued under the Warrant, together with the 78,125 shares purchased directly, may not exceed 2,818,350 shares. F2 · kind: Additional shares added to the Warrant as of 3/1/2019. F2 · price: Additional shares added to the Warrant as of 3/1/2019. Read SEC document |
| March 01, 2019 Filed May 24, 2019 19:46 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 5,279 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-006650 · edgar.xml · derivative · entry 4 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,131,608 Underlying: Common Stock · 5,279 shares Expires 2024-02-06 F3 · kind: As a result of the formula in the Third Amended and Restated Warrant, additional shares were added to installments as of 2/1/2019, 3/1/2019 and 4/1/2019. The amounts reported represent these additional amounts, in excess of the amounts that were reported in previous Form 4 filings by the Reporting Person. F3 · price: As a result of the formula in the Third Amended and Restated Warrant, additional shares were added to installments as of 2/1/2019, 3/1/2019 and 4/1/2019. The amounts reported represent these additional amounts, in excess of the amounts that were reported in previous Form 4 filings by the Reporting Person. Read SEC document |
| February 06, 2019 Filed May 24, 2019 19:46 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 138,889 | Not disclosed Strike: $1.19 | Not disclosed |
DisclosureSEC source: 0001179110-19-006650 · edgar.xml · derivative · entry 3 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,126,329 Underlying: Common Stock · 138,889 shares Expires 2024-02-06 F4 · kind: Due to a third investment of an additional $300,000, resulting in a total investment of $1,620,000, the Reporting Person received additional warrants. F4 · price: Due to a third investment of an additional $300,000, resulting in a total investment of $1,620,000, the Reporting Person received additional warrants. Read SEC document |
| February 01, 2019 Filed Feb 5, 2019 21:32 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherAmended and Restated Warrant to purchase common stock · Derivative | 6,227 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-001330 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 969,707 Underlying: Common Stock · 6,227 shares Expires 2024-01-08 F1 · security: This Amended and Restated Warrant (the "Warrant") amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"), due to a second investment of an additional $950,000, resulting in a total investment of $1,320,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to (1) one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by (2) the closing price of Common Stock on that date. The number of warrant shares is subject to a share limit such that the total of number of warrant shares issued under the Warrant, together with the 78,125 shares purchased directly, may not exceed 2,818,350 shares. F2 · kind: Additional shares added to the Warrant as of 2/1/2019. F2 · price: Additional shares added to the Warrant as of 2/1/2019. Read SEC document |
| February 01, 2019 Filed May 24, 2019 19:46 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
OtherThird Amended and Restated Common Stock Purchase Warrant · Derivative | 5,279 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-006650 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 987,440 Underlying: Common Stock · 5,279 shares Expires 2024-02-06 F1 · security: On May 21, 2019 the Issuer and the Reporting Person executed the Third Amended and Restated Common Stock Purchase Warrant (the "Warrant") which amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"). It included a second investment of an additional $950,000, and a third investment of an additional $300,000 resulting in a total investment of $1,620,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by $0.704. F3 · kind: As a result of the formula in the Third Amended and Restated Warrant, additional shares were added to installments as of 2/1/2019, 3/1/2019 and 4/1/2019. The amounts reported represent these additional amounts, in excess of the amounts that were reported in previous Form 4 filings by the Reporting Person. F3 · price: As a result of the formula in the Third Amended and Restated Warrant, additional shares were added to installments as of 2/1/2019, 3/1/2019 and 4/1/2019. The amounts reported represent these additional amounts, in excess of the amounts that were reported in previous Form 4 filings by the Reporting Person. Read SEC document |
| January 08, 2019 Filed Jan 17, 2019 15:02 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
PurchaseAmended and Restated Warrant to purchase common stock · Derivative | 742,188 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001179110-19-000808 · edgar.xml · derivative · entry 3 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 963,480 Underlying: Common Stock · 742,188 shares Expires 2024-01-08 F3 · security: This Amended and Restated Warrant (the "Warrant") amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"), due to a second investment of an additional $950,000, resulting in a total investment of $1,320,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to (1) one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by (2) the closing price of Common Stock on that date. The number of warrant shares is subject to a share limit such that the total of number of warrant shares issued under the Warrant, together with the 78,125 shares purchased directly, may not exceed 2,818,350 shares. F3 · price: This Amended and Restated Warrant (the "Warrant") amends and restates that certain warrant issued on November 30, 2018 (the "Original Warrant"), due to a second investment of an additional $950,000, resulting in a total investment of $1,320,000. (See Form 4 filed on December 10, 2018 for details of the Original Warrant.) In addition to the shares reported, the Warrant provides for additional shares to be added to the Warrant beginning on February 1, 2019 and the first day of each calendar month thereafter, equal to (1) one-half percent (1/2%) of the outstanding principal balance of the Note on such date, divided by (2) the closing price of Common Stock on that date. The number of warrant shares is subject to a share limit such that the total of number of warrant shares issued under the Warrant, together with the 78,125 shares purchased directly, may not exceed 2,818,350 shares. Read SEC document |
| January 08, 2019 Filed Jan 17, 2019 15:02 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
PurchaseCommon Stock | 78,125 | $0.64 | $50,000.00 |
DisclosureSEC source: 0001179110-19-000808 · edgar.xml · nonDerivative · entry 1 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,298 Read SEC document |
| January 02, 2019 Filed Jan 17, 2019 15:02 UTC |
Schwartz Carl I.Director · Chief Executive Officer
|
GrantStock Options (right to buy) · Derivative | 323,050 | $0.00 Strike: $0.62 | $0.00 |
DisclosureSEC source: 0001179110-19-000808 · edgar.xml · derivative · entry 2 Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 323,050 Underlying: Common Stock · 323,050 shares Expires 2029-01-02 F1 · derivative.exercise_date: 53,841 shares vest on each of 1/2/2019, 2/1/2019, 3/1/2019, 4/1/2019 and 5/1/2019; 53,845 shares vest on 6/1/2019. F2 · ownership.direct: Held by Carl I. Schwartz Revocable Living Trust. Read SEC document |
| December 31, 2018 Filed Jan 8, 2019 16:32 UTC |
McGoldrick Thomas J.Director
|
GrantStock Option (right to buy) · Derivative | 56,534 | $0.00 Strike: $0.62 | $0.00 |
DisclosureSEC source: 0001179110-19-000559 · edgar.xml · derivative · entry 2 McGoldrick Thomas J. · CIK 0001478406 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,534 Underlying: Common Stock · 56,534 shares Expires 2028-12-31 Read SEC document |
| December 31, 2018 Filed Jan 8, 2019 15:52 UTC |
ENGLE J MELVILLEDirector
|
GrantStock Options (right to buy) · Derivative | 40,382 | $0.00 Strike: $0.62 | $0.00 |
DisclosureSEC source: 0001179110-19-000552 · edgar.xml · derivative · entry 2 ENGLE J MELVILLE · CIK 0001461906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,382 Underlying: Common Stock · 40,382 shares Expires 2028-12-31 Read SEC document |
| December 31, 2018 Filed Jan 8, 2019 20:51 UTC |
GABRIEL RICHARD LDirector
|
GrantStock Options (right to buy) · Derivative | 24,229 | $0.00 Strike: $0.62 | $0.00 |
DisclosureSEC source: 0001179110-19-000551 · edgar.xml · derivative · entry 2 GABRIEL RICHARD L · CIK 0001285097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,229 Underlying: Common Stock · 24,229 shares Expires 2028-12-31 Read SEC document |
| December 31, 2018 Filed Jan 10, 2019 15:24 UTC |
KROCHUK TIMOTHY ADirector
|
GrantStock Options (right to buy) · Derivative | 56,534 | $0.00 Strike: $0.62 | $0.00 |
DisclosureSEC source: 0001179110-19-000649 · edgar.xml · derivative · entry 2 KROCHUK TIMOTHY A · CIK 0001689217 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,534 Underlying: Common Stock · 56,534 shares Expires 2028-12-31 Read SEC document |
| December 31, 2018 Filed Jan 10, 2019 20:23 UTC |
Reding Andrew P.Director
|
GrantStock Option (right to buy) · Derivative | 24,229 | $0.00 Strike: $0.62 | $0.00 |
DisclosureSEC source: 0001179110-19-000648 · edgar.xml · derivative · entry 2 Reding Andrew P. · CIK 0001478471 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,229 Underlying: Common Stock · 24,229 shares Expires 2028-12-31 Read SEC document |
| December 11, 2018 Filed Dec 12, 2018 19:30 UTC |
GABRIEL RICHARD LDirector
|
PurchaseCommon Stock | 2,000 | $0.68 | $1,358.00 |
DisclosureSEC source: 0001179110-18-013732 · edgar.xml · nonDerivative · entry 1 GABRIEL RICHARD L · CIK 0001285097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.